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BO

Billy R. Obregon

VONTOBEL SWISS FINANCIAL ADVISERS
New York, NY 10001
Some features on this profile are disabled
CRD#: 5560837
BO

Professional summary

Billy R Obregon is a registered financial advisor currently at VONTOBEL SWISS FINANCIAL ADVISERS located in New York, New York.

Billy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Billy has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Billy R Obregon's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 7, 2025 - Present

VONTOBEL SWISS FINANCIAL ADVISERS

Office #1: 66 Hudson Boulevard 34th Floor, New York, NY 10001
RIA
CRD#: 130668
New York, NY
Past

August 3, 2021 - December 15, 2023

DEUTSCHE BANK SECURITIES INC.

RIA
CRD#: 2525
NEW YORK, NY
Past

February 18, 2015 - February 26, 2025

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

October 20, 2014 - July 14, 2016

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VS
VONTOBEL SWISS FINANCIAL ADVISERS
UBS SWISS FINANCIAL ADVISERS | VONTOBEL SWISS FINANCIAL ADVISERS LTD. | VONTOBEL SWISS FINANCIAL ADVISERS AG | VONTOBEL SWISS FINANCIAL ADVISERS | UBS SWISS FINANCIAL ADVISERS AG

CRD#: 130668 / SEC#: 801-63660

RIA
Registered Investment Advisory firm - (12/3/2004 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
New York
(11/7/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/3/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/8/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/20/2014
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/24/2021
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 2/26/2021
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/23/2020
General Securities Principal Examination

Current Firm

VS
VONTOBEL SWISS FINANCIAL ADVISERS
UBS SWISS FINANCIAL ADVISERS | VONTOBEL SWISS FINANCIAL ADVISERS LTD. | VONTOBEL SWISS FINANCIAL ADVISERS AG | VONTOBEL SWISS FINANCIAL ADVISERS | UBS SWISS FINANCIAL ADVISERS AG

CRD#: 130668 / SEC#: 801-63660

RIA
Registered Investment Advisory firm - (12/3/2004 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Spluegenstrasse 5, Zurich 8022
Mailing Address
Gotthardstrasse 43, Zurich 8022
Phone number
+41-58-2388111
Established
Firm type
Fiscal year end
# of Employees
100

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM BROCHURE (FORM ADV PART 2A) (7/29/2025)

Regulatory assets under management

Total Number of Accounts3,234
AUM (Assets Under Management)$ 9,275,545,710

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
03/28/2025
Cover Page
Report
02/22/2024
Cover Page
Report
03/03/2023
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

VONTOBEL SWISS FINANCIAL ADVISERS

CRD#: 130668New York, NY 10001

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